This section explores the central functions of investment dealers, including their roles in intermediation, risk management, and the production of research and analysis to support investment decisions.
An in-depth exploration of the underwriting process, syndication, and the role of initial public offerings (IPOs) in raising capital within the Canadian securities industry.
Exploration of the role, management strategies, and regulatory framework surrounding pension funds in Canada.
An in-depth look at how innovative financial products are reshaping the Canadian securities landscape in response to changing investor demands.
Shelf registrations offer a flexible mechanism for issuers to register a new issue of securities without selling immediately, allowing issuers to capitalize on favorable market conditions over extended periods.
Explore the stages of an industry's life cycle: emergence, growth, maturity, and decline, and their implications for investment analysis.
An in-depth exploration of constructing a portfolio, including steps for diversification and risk management, and criteria for buy/sell decisions.
An explorative guide to understanding the active management style of mutual funds, including strategy, research, and analysis.
Understanding the Primary Markets, including IPOs, Debt Issuance, and the Role of Underwriters in the Capital Market.
An in-depth analysis of the structure and characteristics of closed-end funds, focusing on their fixed share count and pricing mechanism.
An in-depth exploration of the settlement processes within institutional trading, focusing on trade completion and operational risk management.
An in-depth exploration of regulations and strategies to prevent insider trading and market manipulation within Canada's financial markets.
An exploration of callable and convertible bonds, their features, conditions, and impacts on both issuers and investors.
An in-depth exploration of Treasury Inflation-Protected Securities, focusing on their inflation adjustment mechanism and yield calculation.
Exploration of cash accounts and the foundational aspects of equity transactions.
An in-depth exploration of the risks associated with short selling, including the threat of unlimited loss potential and the borrowing costs and responsibilities.
An in-depth exploration of the processes and systems involved in clearing and settling equity transactions within the Canadian securities market.
Dive into the evolution and significant milestones in the mutual funds industry, understanding key factors driving their growth.
An in-depth look at the venues where bonds are traded, including exchange-traded bonds and the over-the-counter market.
Learn everything about warrants in this comprehensive guide: their characteristics, valuation, and advantages, along with essential definitions and key takeaways.
An in-depth guide to understanding the statutory rights of investors in Canada, including withdrawal, rescission, and action for damages under National Instrument 41-101 General Prospectus Requirements.
Comprehensive guide to understanding takeover bids, related legislation, and early warning disclosure requirements in the Canadian financial markets.
An in-depth look at the issuance, management, and characteristics of provincial and municipal bonds in Canada. Understand the roles of financial agents, syndicate groups, and institutional portfolios in these securities.
Learn about when a prospectus is required for the distribution or sale of securities, including scenarios for new issues and obligations in various provinces in Canada.
A detailed guide on the activities permitted for underwriters and dealers during the waiting period between the preliminary prospectus and final prospectus in the Canadian Securities Course.
Understand the complete details provided in a final prospectus, including the requirements for material facts, cover page, summary, issuer information, securities data, and more.
An in-depth guide to securities distributions through exchanges, focusing on the approval process, requirements, and exemptions for issuers.
Explore the mechanism and regulatory aspect of crowdfunding in raising start-up capital through online platforms.
Learn the principles and methodologies of combining securities in a portfolio to optimize risk and return in the Canadian Securities Course.
Comprehensive guide on determining capital gains or losses when disposing shares, principles of adjusted cost base, and considerations for warrants, rights, and stock dividends in Canadian taxation.
Understand how capital losses are calculated, the rules for worthless and superficial losses, and their implications in Canadian tax law.
An overview of the evolving fee-based account model in the securities industry, highlighting changes from traditional advisor/client relationships to asset-based fee structures.
This section covers Direct Electronic Access (DEA), including its historical context, risks, regulatory measures, and the roles and responsibilities of institutional portfolio managers and traders.
A comprehensive guide to understanding the investor protection funds available in the Canadian securities industry, including detailed explanations of CIPF, MFDA IPC, CDIC, and provincial insurance corporations.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
A detailed guide on the securities regulation in Canada, including provincial legislation, the role of self-regulatory organizations, and the ongoing discussion around a unified national regulatory authority.
Comprehensive Guide on Disclosure in the Canadian Securities Legislation
Discover the essentials of fixed-income securities, their significance in financial markets, and the critical terminologies involved.
Learn the comprehensive mechanics of non-electronic securities trade, including trade tickets, clearing and settlement, calculating accrued interest, and understanding bond indexes as described in the Canadian Securities Course.
This guide explores the rights of shareholders in the context of voting privileges, focusing on various types of shares, including restricted shares, and their impact on shareholders' participation in corporate governance.
Explore the fundamental concepts of long and short positions in the stock market, including detailed examples and guidance for Canadian Securities Course exam preparation.
